Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kevin Spry is an Investment Advisor Representative with Wells Fargo Clearing Services, LLC. James has been in the industry since March 21, 1988. James's background includes previous experience with Morgan Stanley, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc. and Lehman Brothers Inc. James is registered with the Financial Industry Regulatory Authority (FINRA) as a General Securities Representative (Series 7), a National Commodity Futures Examination (Series 3), and a Securities Industry Essentials Examination (SIE). James is also registered with the State of New Jersey as an Investment Advisor Representative (Series 65). James's registrations are active in Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Idaho, Illinois, Kentucky, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
09/10/2024 - Present
Wells Fargo Clearing Services, LLC (SHORT HILLS NJ)
NJ
06/01/2009 - 11/13/2014
MORGAN STANLEY (MORRISTOWN NJ)
NJ
07/20/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MORRISTOWN NJ)
NJ
07/31/1993 - 07/30/2007
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
NY
03/22/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/01/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/01/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1988
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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